- Bank of America (Yuba City, CA)
- …where you receive dedicated and personalized classes for your Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your ... be an advisor - from acquiring, building and managing client relationships to considering a client 's complex...appropriate solutions. * Earn your Security Industry Essentials (SIE), Series 7 and Series 66… more
- Wells Fargo (Los Angeles, CA)
- …leadership experience + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 , 9, 10, and 63 examinations (or FINRA recognized ... programs for our existing Financial Advisors focused on new client acquisition; deepening the existing client relationships...employee engagement and growth in a branch or a series of branches + Responsible for overall management of… more
- US Bank (Sacramento, CA)
- …to five years of experience in a financial sales position, preferably working with the affluent client segment - FINRA Series 7 , 63, 65 or 66 license, and ... in tailored investment management and insurance services based upon a client 's unique situation. Basic Qualifications - Bachelor's degree, or equivalent work… more
- TIAA (Pasadena, CA)
- …**Work Experience** + 5+ Years Required; 7 + Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series 66 ... **Wealth Management Coach** The Director, Wealth Management Coach enables client facing Wealth Management client facing associates to provide objective and… more
- Wells Fargo (Hawthorne, CA)
- …**Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized ... meeting customer and enterprise needs + Ability to make client calls and actively participate in the sales development...practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA… more
- BMO Financial Group (Modesto, CA)
- **This is a licensed position requiring the SIE, Series 6, 63, Life and Health** **_The mission of Premier Services is to help mass affluent clientele make real ... and deliver a differentiated experience. Our customer-centric approach prioritizes client goals through financial planning, delivering solutions that are tailor… more
- Umpqua Bank (Irvine, CA)
- …quote information and mutual fund trade entry. Equity trades can be entered by Series 7 licensed employees. Accept unsolicited mutual fund and money market ... clients. A sales assistant has a large influence on client satisfaction. + Provide variety of administrative support, which...investment direction from clients. Series 7 licensed employees provide limited decision-making… more
- TIAA (Sherman Oaks, CA)
- …relationships with affluent clients or equivalent experience; Required **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series ... a demonstrated ability to uncover the needs of the client . * Giving and receiving constructive feedback are hallmarks...needs of clients and propose solutions that fit each client 's unique scenario, and unwavering work ethic. * Thrives… more
- City National Bank (Los Angeles, CA)
- …of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 * California Insurance License *Additional ... tandem with an assigned SFA to provide sales and client and colleague service support coverage. The SFA maintains...CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and… more
- Bank of America (Newport Beach, CA)
- …with a team of bank associates to solve client problems. + Securities Industry Essentials (SIE), Series 7 & 63 (Must obtain SIE, series 7 & 63 ... and maintaining profitable relationships, collaborating with teammates, and facilitating client relationships with Product Specialists. Job expectations include having… more